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Detailed Report
JOANIE T LIU
JOANIE TSUNG LIU CHAN, JOANIE TSUNG LIU
CRD#: 5588834
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 100 N CITRUS ST
WEST COVINA, CA 91791
Registration History
1998200020022004200620082010201220142016201820202022202420262 FIRMS2016 - Present (8 years)
Disclosure(s)
View By:
2/10/1998
Criminal
Final Disposition
License(s)

State Registrations

B
Alaska 10/15/2021
B
Nevada 9/29/2016
B
California 8/1/2016
B
Texas 9/21/2016
IA
California 8/1/2016
IA
Texas 9/21/2016
B
Florida 2/5/2020
B
Utah 2/14/2023
B
Minnesota 5/20/2019
B
Virginia 10/14/2020

SRO Registrations

B
 Cboe Exchange, Inc.
B
 FINRA
B
 NYSE American LLC
B
 Nasdaq PHLX LLC
B
 Nasdaq Stock Market
B
 New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
WELLS FARGO ADVISORS (CRD#:19616)
100 N CITRUS ST, WEST COVINA, CA 91791
17799 E COLIMA RD, HACIENDA HEIGHTS, CA 91748
Registered with this firm since 8/1/2016
B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
100 N CITRUS ST, WEST COVINA, CA 91791
17799 E COLIMA RD, HACIENDA HEIGHTS, CA 91748
Registered with this firm since 7/8/2016
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.